rules on registration of non-ferrous metal …1 rules on registration of non-ferrous metal products...
TRANSCRIPT
1
Rules on Registration of Non-Ferrous Metal Products for Futures Delivery
of the Shanghai Futures Exchange
(Amended by [2019] No. 88)
Chapter 1: General Provisions
1. Subject to the Trading Rules of Shanghai Futures Exchange, the rules herein are made to
enhance the management of futures products for delivery and protect the legitimate rights of
the parties involved in futures transactions.
2. The Exchange, members, clients, registered producers and designated quality inspection
agencies shall be bound by the rules herein.
Chapter 2: Registration
3. Registration application requirements
3.1 Applicants shall be the domestic and foreign producers for relevant products with fairly
good reputation and credibility on the market.
3.2 The applicant should be able to meet production capacity (including that for a single
brand) at or above the following (tentative) levels: Copper, 50,000 metric tons; Aluminum,
100,000 metric tons; Zinc, 50,000 metric tons; Lead, 50,000 metric tons; Nickel, 5,000 metric
tons; Tin, 4000 metric tons, with product quality meeting current national or international
quality standards, production technologies in compliance with China’s current industrial
policies and environmental protection requirements, and continuous, stable production output
for at least one year.
3.3 The products applied for registration shall come from legitimate resources and account for
a substantial share of the physical market.
3.4 Other requirements prescribed by the Exchange.
2
4. Preliminary review on registration requirements
An applicant shall submit to the Exchange materials for preliminary review in accordance
with the requirements specified in Article 3 of these Rules. Such materials will be checked
against each of the requirements under Article 3. An applicant may proceed to the formal
registration process only after the application passes the preliminary review. If necessary, the
Exchange may conduct on-site inspections to verify the qualifications of the applicant.
5. Written application materials required for the registration application:
5.1 Product Registration Application Report;
5.2 Letter of Commitment (Appendix 1);
5.3 SHFE Registration Form: Copper Cathode, or SHFE Registration Form: Unalloyed
Aluminum Ingots for Re-melting (AL99.70), or SHFE Registration Form: Zinc Ingots
(ZN99.995), or SHFE Registration Form: Lead Ingots (PB99.994), or SHFE Registration
Form: Electrolytic Nickel, or SHFE Registration Form: Tin Ingots. (Please see Appendix 2, 3,
4, 5, 6 and 7);
5.4 Photocopies of the Business License and Tax Registration Certificate;
5.5 Trademark Registration Certificate or similar certificates proving and identifying the
origin of the applying product;
5.6 Statements of Company Shareholders and Company Equity or Shareholding Structure;
5.7 Project Approval, Project Filing Registration, Government acceptance on Environmental
Protection Assessment Report, etc.;
5.8 Product Quality Management documents;
5.8.1 The detailed tables of contents of key quality management documents, e.g. Quality
Manual, Quality Procedures, Standard Operation Procedures (SOPs);
5.8.2 Internal Control Standards;
3
5.8.3 Inspection items for major raw materials and auxiliary materials (incl. testing
capability and methods);
5.8.4 Quality Inspection Items of Finished Products (incl. testing capability and methods);
5.8.5 Key Inspection Equipment (Name, Model, Quantity, Purposes);
5.9 The latest product quality inspection report from a third-party quality inspection agency;
5.10 The applicant’s Internal Product Quality Analysis Report over the latest three
months;
5.11 The applicant’s Process Flow Diagrams (presented respectively if there are more than
one process involved);
5.12 Descriptions of production equipment (specifications, parameters, quantity, etc.);
5.13 Color photographs showing the appearance, labels and packaging of the product, with
captions providing following information:
5.13.1 The shape, size and weight of a single piece of the product;
5.13.2 The shape, size and weight of a product bundle;
5.13.3 Packaging method, materials and specifications (incl. packaging clips), the position
of trademark or label;
5.14 Color photographs showing the applicant’s key production equipment, facilities and
workshops (presented respectively if there are more than one production locations involved);
5.15 Samples of label stickers and samples of Product Quality Certificates (with data
noted);
5.16 Photocopies of various management system certificates;
5.17 Applicant’s Financial Accounting Statement of the previous fiscal year, audited
(photocopies should bear the seal of the applicant);
4
5.18 Information about product registration at other Exchanges;
5.19 Other materials that the Exchange deems necessary;
All application materials must be presented in Chinese and the Chinese version shall prevail.
The English version as an appendix is only for reference
6. Registration procedures
An applicant that has passed the preliminary review shall complete the following registration
procedures before registration approval. Unless otherwise specified, the applicant may
negotiate with the Exchange on the timetables for each of the steps.
6.1 Written application materials
An applicant shall submit to the Exchange a complete set of written application materials and
pass the review of the Exchange.
6.2 Product trial use
6.2.1 The product to be registered (copper, aluminum, zinc, lead) shall be sent to three
domestic users designated by the applicant and recognized by the Exchange for trial use.
Nickel and tin products are temporarily exempted from trial use.
6.2.2 The applicant should provide each trial user with two batches of products (produced
at an interval of at least one month) for the trial use. The minimum quantity of each batch of
copper, aluminum, zinc and lead products for trial use shall be 50 metric tons. The applicant
shall track the trial use process and ensure that the products for trial use are not mixed with or
contaminated by other products during the entire process. The trial users shall keep proper
record of trial use and complete the trial use within three months after each batch arrives at
their facilities.
6.2.3 The Exchange may at its sole discretion extend product trial use.
6.2.4 After the product passes the trial use, the trial user shall submit a trial use report to
the Exchange.
5
The Trial Use Report should contain following information:
6.2.4.1 Initial product evaluation and testing before the trial use begins, including appearance
quality, intrinsic quality, packaging, labeling, etc.
6.2.4.2 The name of end product to be tested, process description, quality analysis report,
standards adopted (company standards, industrial standards or national standards), as well as
problems identified during the trial use.
6.2.4.3 Trial use conclusion
6.2.5 Types of products for trial use
The products for trial use should comply with following requirements:
1) Copper: Copper electrical wires (diameter ≤ 0.1mm) that can be processed by two or
more types of processes;
2) Aluminum: Two or more types of materials for processing
3) Zinc: Two or more types of materials for processing
4) Lead: Two or more types of materials for processing
The Exchange may adjust the above requirements based on market conditions.
6.3 On-site inspection
6.3.1 Domestic products
6.3.1.1 The designated quality inspection agencies, together with the Exchange, shall
conduct the on-site inspection at the applicant’s location pursuant to the Outlines of On-site
Inspection on Products for Futures Delivery of the Shanghai Futures Exchange (Appendix 8);
6.3.1.2 The on-site inspection covers: the operation of quality management systems,
inspection on product quality (including intrinsic quality and appearance), packaging,
measuring, processes, equipment operations, etc. For the quality inspection, the applicant
6
should deposit two batches of products, produced at an interval of at least one month, in its
warehouse for finished goods or another location approved by the Exchange. Each batch of
copper, aluminum, zinc, or lead products should be 200 metric tons; each batch of nickel or tin
products should be of a quantity determined by the Exchange based on the circumstances. A
designated quality inspection agency will inspect and verify the appearance, packaging,
weight, chemical composition, and other pertinent aspects of the products. If an applicant has
failed in the initial inspection, it should provide products produced at least three months after
that inspection while applying for a second quality inspection.
6.3.1.3 The designated quality inspection agency shall keep detailed records of the inspection
and provide the Exchange with a complete quality inspection report. The applicant should
participate into the inspection in a cooperative and effective way;
6.3.1.4 The Exchange may, based on the circumstances, conduct a trial survey on the trial
users based on their feedbacks;
6.3.1.5 Where rectification is necessary, the applicant should rectify the problems identified
during the on-site inspection and timely submit a rectification report to the Exchange;
6.3.2 Foreign products
6.3.2.1 Product quality inspection: the applicant should deposit two batches of products,
produced at an interval of at least one month, in a certified delivery warehouse or any other
location designated by the Exchange for the quality inspection. The quantity of each batch of
the copper, aluminum, zinc or lead product should be 200 metric tons, and the quantity of a
nickel and tin product batch shall be determined by the Exchange according to evaluation
need. A designated quality inspection agency will inspect and verify the appearance,
packaging, weight, chemical composition, and other pertinent aspects of the products. If an
applicant has failed in the initial inspection, it should provide products produced at least three
months after that inspection while applying for a second quality inspection.
The quality inspection should be conducted against the quality standards specified in the
contracts of the corresponding product. The designated quality inspection agency shall
provide a Quality Inspection Report.
7
6.3.2.2 The trial use shall be carried out according to the current state product trial use
requirements.
6.3.2.3 The Exchange shall decide at its sole discretion whether an on-site inspection shall be
conducted at the applicant’s location. The requirements of on-site inspection for foreign
products are as same as those for domestic products.
6.4 Approval by the Exchange
The Exchange determines whether to approve a registration application based on the results of
the preliminary review, the application materials for the registration, and the results of trial use,
on-site inspection and subsequent rectification. If an approval is granted, the Exchange shall
notify the applicant, all members and certified delivery warehouses of the decision in writing.
7. Fees and charges
7.1 Product registration fee (for a single brand)
Domestic products: RMB 100,000;
Foreign products: RMB 250,000;
7.2 Inspection fee (for a single brand)
Domestic products: RMB 30,000 (copper, aluminum and zinc); RMB 40,000 (lead, nickel and
tin)
Foreign products: RMB 40,000;
The Exchange may adjust the above charges and fees based on actual circumstances.
Chapter 3: Regular and Annual Random Inspection
8. To ensure the quality of deliverable products, the Exchange may conduct regular and
annual random inspections on the products registered for futures delivery when it deems such
inspections necessary.
8
8.1 Regular random inspection: the Exchange may coordinate with a designated quality
inspection agency to conduct a regular random inspection on the quality of products that are
stored in a warehouse of registered producers for finished products or in a certified delivery
warehouse and that are covered by a standard warrant.
8.2 Annual random inspection: the Exchange may coordinate with a designated quality
inspection agency to conduct an annual random inspection on the quality of registered
products. The products to be inspected shall be chosen at random based on the inventory and
delivery situation of the certified delivery warehouses concerned.
8.3 Inspection fees for regular random inspections shall be borne by the registered producers;
those for the annual random inspections shall be borne by the Exchange.
8.4 The Exchange shall issue a Rectification Notice to the registered producers whose
registered products are found to have conspicuous quality issues during a regular or annual
random inspection. The results of the producers’ rectification activities shall be deemed as one
of the essential factors in adjusting the registered brands list;
Chapter 4: Registration Suspension, Cancellation and Others
9. In any of the following circumstances, the Exchange may issue a warning, a circular of
criticism, suspend or cancel the registration of a product for futures delivery, or other
measures alike:
9.1 The registered producer is dissolved or bankrupt.
9.2 The trademark of the product has been transferred. Or, there is a dispute over the
ownership of the product’s trademark.
9.3 The product failed in the regular or annual quality inspection and the special quality
inspection carried out after rectification.
9.4 The Exchange received too many complaints on the product quality. And the product
failed in the Exchange’s quality inspection (in appearance, intrinsic quality, or another aspect)
which responds to these complaints.
9.5 The producer failed to meet any applicable environmental protection requirements.
9
9.6 The producer failed to report significant changes in its production or operation to the
Exchange.
9.7 The registered producer fails to cooperate with the Exchange in providing the necessary
materials for the management of deliverable commodities; or
9.8 Other situations in which the Exchange deems such an action necessary.
Where production of a registered brand has been suspended for three years or more and the
registered producer fails in explaining the suspension to the Exchange, the Exchange may
cancel the registration after verifying the circumstances.
10. In any of the following circumstances, the registered producer shall apply to the Exchange
for change of information of its registered product, without providing trial use report or
undergoing on-site inspection on its quality management system:
10.1 The producer was split or merged, or has changed its name or its organizational form;
10.2 There is any change in the product’s appearance, dimensions, shape, packaging, or
stacking arrangement; or
10.3 There is any conspicuous change in the product labels.
In the case of 10.2, the product must first pass the inspection of the Exchange before being
registered as a deliverable commodity.
11. The producer may apply to the Exchange to cancel a product registration, but shall
cooperate with the Exchange in completing the transition process and any post-cancellation
arrangements.
12. When a dispute over the quality of the product for futures delivery should arise during the
delivery, the producer should cooperate with the Exchange to handle the matters involved in a
proper way. If it’s awarded that the producer is accountable for the loss caused by the product
quality problem, the producer should bear the compensation responsibility.
Chapter 5: Supplementary Provisions
10
13. The Exchange reserves the right of final interpretation of the above articles.
14. The Rules on Registration of Non-Ferrous Metal Products for Futures Delivery of the
Shanghai Futures Exchange shall take effect on October 22th, 2019.
Appendixes:
Appendix 1: Letter of Commitment
Appendix 2: SHFE Registration Form: Copper Cathode
Appendix 3: SHFE Registration Form: Unalloyed Aluminum Ingots for Re-melting (AL99.70)
Appendix 4: SHFE Registration Form: Zinc Ingots (ZN99.995)
Appendix 5: SHFE Registration Form: Lead Ingots (PB99.994)
Appendix 6: SHFE Registration Form: Primary Nickel Cathode (Full Plate)
Appendix 7: SHFE Registration Form: Tin Ingots
Appendix 8: Outlines of On-site Inspection on Products for Futures Delivery of the Shanghai
Futures Exchange
11
Appendix 1:
Letter of Commitment
To ensure our product under the brand ® is or remains a qualified registered
product for futures delivery of the Shanghai Futures Exchange, we hereby make following
commitments:
1. Adhere to the Rules on Registration of Non-Ferrous Metal Products for Futures Delivery
of the Shanghai Futures Exchange;
2. Take the full responsibility with respect to the legitimacy, validity, truthfulness and
integrity of all materials submitted to the Exchange;
3. Accept any inspection resulting from a quality dispute at any time and assume any due
responsibility that may incur;
4. Make timely, precise and complete reports to the Exchange about the significant changes
in production or operation, including production capacity, technical standards in application,
trademark, the appearance and size of product, company restructuring, or organization
adjustment, and assume any due responsibility for the loss might result from the failure of
providing such reports as required; and,
5. Paying to the Exchange and the designated quality inspector the fees that may incur, as
prescribed in the Rules on Registration of Non-Ferrous Metal Products for Futures Delivery of
the Shanghai Futures Exchange;
Producer: (signature and seal)
Date:
12
Appendix 2:
SHFE Registration Form: Copper Cathode
General Information of the Producer
Product Copper cathode
Technical Standards in
application
Applicant
Country
Registered Address (postal code)
Plant Address (postal code)
E-mail Fax:
Contact Dept. Contact:
Contact Phone/WeChat/QQ
Applicant: (signature and seal)
Date of application: YY MM DD
13
Producer Profile
Note:
The profile shall include but not limited to following information: geographic location,
corporate history, corporate institution and rules, shareholders, employees and
managements, key products, output, product quality, status in the industry, corporate
management system, sources of raw materials, energy supply, business advantages,
development planning, etc.
If the product is produced in SX-EW process or permanent cathode electrolytic processes,
please specify the exact process adopted in the Producer Profile.
14
Product Profile
Product Name Registered trademark
Technical standards in
application Inception date of production
Capacity (metric tons/year) Last year output (metric tons)
(from MM to MM)
Current year output (metric
tons)
(from MM to MM)
In
which
Cu-CATH-1 output
(metric tons)
Cu-CATH-2 output
(metric tons)
Sales volume (metric tons) Self use (metric tons)
Size (mm) (L*W*H)
Ingot
Weight
(kg)
Bundle
weight
(kg)
Ingot/bundle
(approx.)
Bundle/lot
(25 metric
tons/ lot)
Bundle stacking:
Packaging (method, materials and specifications):
Labels and descriptions:
Packaging clips and descriptions:
Difference in the packages of spot product and futures product:
15
Trademark Registration No.:
Expiry date:
Logo:
Note: when more than one trademark is used, please specify the logos, packages and
production plants of different trademarks for distinguishing.
16
Key Economic and Technical Indicators
Indicators Last year Planned for
current year
Year-to-date
From MM to MM
1. Output (metric ton)
2. Output value (in RMB 100 mil):
3. Profit (in RMB 10,000):
4. Current efficiency (%)
5. Unit DC consumption
(kilowatt-hours/metric ton)
6. Unit AC consumption
(kilowatt-hours/metric ton)
7. Average Current Intensity
(amps)
8. Overall recycling rate (%)
9. Unit direct production cost
(RMB/metric ton)
17
Appendix 3:
SHFE Registration Form: Unalloyed Aluminum Ingots for Re-melting
(AL99.70)
General Information of the Producer
Product Unalloyed Aluminum Ingots for Re-melting
(AL99.70)
Technical Standards in
application
Applicant
Country
Registered Address (postal code)
Plant Address (postal code)
E-mail Fax:
Contact Dept. Contact:
Contact Phone/WeChat/QQ
Applicant: (signature and seal)
Date of application: YY MM DD
18
Producer Profile
Note:
The profile shall include but not limited to following information: geographic location,
corporate history, corporate institution and rules, shareholders, employees and
managements, key products, output, product quality, status in the industry, corporate
management system, sources of raw materials, energy supply, business advantages,
development planning, etc.
If more than one production processes are involved, please specify in the Producer
Profile.
19
Product Profile
Product Name Registered trademark
Technical standards in
application
Inception date of
production
Capacity (metric
tons/year)
Last year output
(metric tons)
(from MM to MM)
Current year output
(metric tons)
(from MM to MM)
In which
AL99.70 Output
Sales volume (metric tons) Self use (metric tons)
Size (mm) (L*W*H)
Ingot
Weight
(kg)
Bundle
weight (kg)
Ingot/Bundle
(approx.)
Bundle/lot
(25 metric
tons/ lot)
Big face (bottom surface):
Small face (with marks):
Bundle stacking:
1. layers/bundle, in which, layers in the upper half, ingots per
layer; layers in the lower half, ingots per layer;
2. Stacking pattern of every layer:
Packaging (method, materials and specifications):
Labels and descriptions:
Packaging clips and descriptions:
Difference in the packages of spot product and futures product:
20
Trademark Registration No.:
Expiry date:
Logo:
Note: when more than one trademark are used, please specify the logos, packages and
production plants of different trademarks for distinguishing.
21
Key Economic and Technical Indicators
Indicators Last
year
Planned for
current year
Year-to-date From
MM to MM
1. Output (metric ton)
2. Output value (in RMB 100 mil):
3. Profit (in RMB 10,000):
4. Unit AC consumption of primary
aluminum (kilowatt-hours/metric ton)
5. Current efficiency (%)
6. Average Current Intensity (amps)
7. Unit DC consumption of primary
aluminum (kilowatt-hours/metric ton)
8. Average cell voltage (Volt)
9. Unit consumption of aluminum oxide
(kg/metric ton)
10. Unit consumption of fluorite salt
(kg/metric ton)
11. Unit consumption of anode carbon block
(kg/metric ton)
12. Unit direct production cost (RMB/metric
ton)
22
Appendix 4
SHFE Registration Form: Zinc Ingots (ZN99.995)
General Information of the Producer
Product Zinc ingot (Zn99.995)
Technical Standards in
application
Applicant
Country
Registered Address (postal code)
Plant Address (postal code)
E-mail Fax:
Contact Dept. Contact:
Contact Phone/WeChat/QQ
Applicant: (signature and seal)
Date of application: YY MM DD
23
Producer Profile
Note:
The profile shall include but not limited to following information: geographic location,
corporate history, corporate institution and rules, shareholders, employees and
managements, key products, output, product quality, status in the industry, corporate
management system, sources of raw materials, energy supply, business advantages,
development planning, etc.
If more than one production processes are involved, please specify in the Producer Profile.
24
Product Profile
Product Name Registered trademark
Technical standards in
application
Inception date of
production
Capacity (metric
tons/year)
Last year output
(metric tons)
(from MM to MM)
Current year output
(metric tons)
(from MM to MM)
In which, Zn99.995
Output
Sales volume (metric tons) Self use (metric tons)
Size (mm) (L*W*H)
Ingot
Weight
(kg)
Bundle
weight
(kg)
Ingot/Bundle
(approx.)
Bundle/lot
(25 metric
tons/ lot)
Big face (bottom surface):
Small face (with marks):
Bundle stacking:
1. layers/bundle, in which, layers in the upper half, ingots per
layer; layers in the lower half, ingots per layer;
2. Stacking pattern of every layer:
Packaging (method, materials and specifications):
Labels and descriptions:
Packaging clips and descriptions:
Difference in the packages of spot product and futures product:
25
Trademark Registration No.:
Expiry date:
Logo:
Note: when more than one trademark are used, please specify the logos, packages and
production plants of different trademarks for distinguishing.
26
Key Economic and Technical Indicators
Indicators Last year Planned for
current year
Year-to-date
From MM
to MM
1. Output (metric ton)
2. Output value (in RMB 100 mil):
3. Profit (in RMB 10,000):
4. Total recycling rate in zinc distillation
(%)
5. Total recycling rate in refined zinc
smelting (%)
6. Total recycling rate in electrolytic zinc
smelting (%)
7. General energy consumption in zinc
distillation (kg standard coal/metric ton)
8. DC consumption of zinc precipitating
(kilowatt-hours/metric ton)
9. General energy consumption in refined
zinc smelting (kg standard coal/metric ton)
10. General energy consumption in
electrolytic zinc smelting (kg/metric ton)
11. Unit direct production cost
(RMB/metric ton)
27
Appendix 5
SHFE Registration Form: Lead Ingots (PB99.994)
General Information of the Producer
Product Lead Ingot (Pb99.994)
Technical Standards in
application
Applicant
Country
Registered Address (postal code)
Plant Address (postal code)
E-mail Fax:
Contact Dept. Contact:
Contact Phone/WeChat/QQ
Applicant: (signature and seal)
Date of application: YY MM DD
28
Producer Profile
Note:
The profile shall include but not limited to following information: geographic location,
corporate history, corporate institution and rules, shareholders, employees and
managements, key products, output, product quality, status in the industry, corporate
management system, sources of raw materials, energy supply, business advantages,
development planning, etc.
If more than one production processes are involved, please specify in the Producer Profile.
29
Product Profile
Product Name Registered trademark
Technical standards in
application
Inception date of
production
Capacity (metric
tons/year)
Last year output
(metric tons)
(from MM to MM)
Current year output
(metric tons)
(from MM to MM)
In which
Pb99.994 Output
Sales volume (metric tons) Self use (metric tons)
Size (mm) (L*W*H)
Ingot
Weight
(kg)
Bundle
weight
(kg)
Ingot/bundle
(approx.)
Bundle/lot
(25 metric
tons/ lot)
Big face (bottom surface):
Small face (with marks):
Bundle stacking:
1. layers/bundle, in which, layers in the upper half, ingots per
layer; layers in the lower half, ingots per layer;
2. Stacking pattern of every layer:
Packaging (method, materials and specifications):
Labels and descriptions:
Packaging clips and descriptions:
Difference in the packages of spot product and futures product:
30
Trademark Registration No.:
Expiry date:
Logo:
Note: when more than one trademark are used, please specify the logos, packages and
production plants of different trademarks for distinguishing.
31
Key Economic and Technical Indicators
Indicators Last year Planned for
current year
Year-to-date
From MM to
MM
1. Output (metric ton)
2. Output value (in RMB 100 mil):
3. Profit (in RMB 10,000):
4. Total recycling rate of lead (%)
(crude lead smelting)
5. Total recycling rate of lead (%)
(electrolytic refining)
6. Total sulfur recycling rate (%)
7. General energy consumption per
unit product in crude lead smelting
(kg standard coal/metric ton)
8. DC consumption in electrolytic
refining per unit product
(kilowatt-hours/metric ton)
9. Unit direct production cost
(RMB/metric ton)
32
Appendix 6
SHFE Registration Form: Primary Nickel Cathode (Full Plate)
General Information of the Producer
Product Primary Nickel cathode (Ni9996/Ni9999)
Technical Standards in application
Applicant
Country
Registered Address (postal code)
Plant Address (postal code)
E-mail Fax:
Contact Dept. Contact:
Contact Phone/WeChat/QQ
Applicant: (signature and seal)
Date of application: YY MM DD
33
Producer Profile
Note:
The profile shall include but not limited to following information: geographic location,
corporate history, corporate institution and rules, shareholders, employees and
managements, key products, output, product quality, status in the industry, corporate
management system, sources of raw materials, energy supply, business advantages,
development planning, etc.
If more than one production processes are involved, please specify in the Producer
35
Product Profile
Product Name Registered trademark
Technical standards in
application
Inception date of
production
Capacity (metric tons/year)
Last year output (metric
tons)
(from MM to MM)
Current year output (metric
tons)
(from MM to MM)
In
which
Ni9996 Output
(metric tons)
Ni9999 Output
(metric tons)
Sales volume (metric tons) Self use (metric tons)
Size (mm) (L*W*H)
Ingot
Weight
(kg)
Bundle
weight
(kg)
Ingot/bundle
(approx.)
Bundle/lot
(6 metric tons/
lot)
Bundle stacking:
Packaging (method, materials and specifications):
Labels and descriptions:
Packaging clips and descriptions:
Difference in the packages of spot product and futures product:
36
Trademark Registration No.:
Expiry date:
Logo:
Note: when more than one trademark are used, please specify the logos, packages and
production plants of different trademarks for distinguishing.
37
Key Economic and Technical Indicators
Indicators Last year Planned for
current year
Year-to-date
From MM to MM
1. Output (metric ton)
2. Output value (in RMB 100 mil):
3. Profit (in RMB 10,000):
4. Current efficiency (%)
5. Unit AC consumption
(kilowatt-hours/metric ton)
6. Overall recycling rate (%)
7. Average Current Intensity
(amps)
8. General energy consumption per
unit product
(kg standard coal/metric ton)
9. Unit direct production cost
(RMB/metric ton)
38
Appendix 7
SHFE Registration Form: Tin Ingots
General Information of the Producer
Product Tin ingot
(SN 99.90A, SN 99.90AA or SN 99.95AA)
Technical Standards in
application
Applicant
Country
Registered Address (postal code)
Plant Address (postal code)
E-mail Fax:
Contact Dept. Contact:
Contact Phone/WeChat/QQ
Applicant: (signature and seal)
Date of application: YY MM DD
39
Producer Profile
Note:
The profile shall include but not limited to following information: geographic location,
corporate history, corporate institution and rules, shareholders, employees and
managements, key products, output, product quality, status in the industry, corporate
management system, sources of raw materials, energy supply, business advantages,
development planning, etc.
If more than one production processes are involved, please specify in the Producer
Profile.
40
Product Profile
Product Name Registered trademark
Technical standards in
application Inception date of production
Capacity (metric tons/year) Last year output (metric tons)
(from MM to MM)
Current year output (metric
tons)
(from MM to MM)
In
which
Product 1
output (metric tons)
Product 2
output (metric tons)
Sales volume (metric tons) Self use (metric tons)
Size (mm) (L*W*H)
Ingot
Weight
(kg)
Bundle
weight
(kg)
Ingot/bundle
(approx.)
Bundle/lot
(2 metric
tons/ lot)
Big face (bottom surface):
Small Face (with marks):
Bundle stacking:
1. layers/bundle, in which, layers in the upper half, ingots per layer;
layers in the lower half, ingots per layer;
2. Stacking pattern of every layer:
Packaging (method, materials and specifications):
Labels and descriptions:
Packaging clips and descriptions:
Difference in the packages of spot product and futures product:
41
Trademark Registration No.:
Expiry date:
Logo:
Note: when more than one trademark are used, please specify the logos, packages and
production plants of different trademarks for distinguishing.
42
Key Economic and Technical Indicators
Indicators Last year Planned for
current year
Year-to-date
From MM to MM
1. Output (metric ton)
2. Output value (in RMB 100 mil):
3. Profit (in RMB 10,000):
4. Overall recycling rate of tin
metals (%)
5. Unit AC consumption
(kilowatt-hours/metric ton)
6. General energy consumption per
unit product
(kg standard coal/metric ton)
7. Unit direct production cost
(RMB/metric ton)
43
Appendix 8
Outlines of On-site Inspection on Products for Futures Delivery of the
Shanghai Futures Exchange
1. Auditing on the producer’s quality management system
1.1 Briefing by the producer on its corporate profile and operation of quality management
system; and
1.2 The producer shall provide the following technical documents and materials:
1.2.1 Workflow chart of production techniques;
1.2.2 Guiding manuals of key operations and control requirements;
1.2.3 Records of process monitoring and product clearance for the recent 3 months;
1.2.4 Records of the maintenance plan and records of maintenance for major equipment of
production for the recent 3 months;
1.2.5 Records of internal verification of quality management system for the recent 2 years;
1.2.6 Standards and methods of inspection on raw materials, semi-finished products and
finished products;
1.2.7 Records of inspection on raw materials, semi-finished products and finished products
for the recent 3 months;
1.2.8 Latest accounts of inspection and experiment and measuring records;
For internal calibration, methods, internal records, qualifications of calibration staff or proof
of qualification training shall be provided.
1.2.9 List of qualified suppliers of raw materials, evaluations and annual inspection record
for the recent 1 year;
44
1.2.10 Customer complaints and records of reject, and records of surveys on customer
satisfaction for the recent 1 year;
1.2.11 Requirements on staff of production and inspection posts, and plans, records and
certificates of trainings for the recent 2 years; and
1.2.12 Photocopies of quality guarantee certificates, which have been issued, of the finished
products.
By the time the registration inspection takes place, the documents and materials as prescribed
in 1.2 here above shall be ready for review, and the personnel of departments accountable
shall make introductions to the information related to the documents and materials.
2. Quality inspection (for single batch)
2.1 Copper cathode
2.1.1 Surface (exterior) quality inspection
2.1.1.1 All the requirements on surface quality in GB/T 467 – Copper Cathode (refer, here
and hereinafter, to the current contract that is applicable);
2.1.1.2 For surface quality inspection, marks and symbols that indicate product name,
applied standards, brand, lot number, lot weight, date of production, name of producer, place
of production shall be clear on each bundle of copper cathode; and
2.1.1.3 Amounts for surface quality inspection shall be any 100 pieces out of any lot number
of products.
2.1.2 Intrinsic quality inspection
Refer to the requirements of GB/T 467 – Copper Cathode, with inspection carried out in
accordance with GB/T 5121 – Methods for Chemical Analysis of Copper and Copper Alloys,
or SN/T 2259 – Determination of Chemical Components in High Purity Copper
Cathode—Inductively Coupled Plasma Atomic Emission Spectrometry (ICP-AES), or
SN/T2260 – Determination Chemical Compounds of Copper Cathode—Photoelectric
Emission Spectroscopic Method.
45
2.1.3 Inspection on product packaging and measuring
2.1.3.1 Packaging materials
2.1.3.2 Bundling tightness and sturdiness
2.1.3.3 Pieces of ingots per bundle
2.1.3.4 Erroneous bundle weight discrepancy
2.1.3.4.1 Weight difference between bundles
2.1.3.4.2 Weight difference between the bundle delivered into the warehouse and the bundle
for inspection
2.1.4 Verification of quality certificate
2.2 Unalloyed aluminum ingot for re-melting
2.2.1 Surface (exterior) quality inspection
2.2.1.1 All the requirements on surface quality in GB/T 1196 – Unalloyed Aluminium Ingots
for Remelting (refer, here and hereinafter, to the current contract that is applicable);
2.2.1.2 For surface quality inspection,
2.2.1.2.1 Symbol of production plant, smelting number and check stamp shall be clear on
each aluminum ingot; and
2.2.1.2.2 Marks and symbols that indicate product name, applied standards, smelting
number, bundle number, net weight, number of pieces, brand, date of production, name of
producer, place of production shall be clear on each bundle of aluminum ingots.
2.2.1.3 Amounts for surface quality inspection
2.2.1.3.1 Any 1 to 2 smelting numbers of products; and
46
2.2.1.3.2 Any 100 pieces approximately out of any 1 to 2 bundles out of the 1 to 2 smelting
numbers as prescribed in 2.2.1.3.1 here above.
2.2.2 Intrinsic quality inspection
Refer to the requirements of GB/T 1196 – Unalloyed Aluminium Ingots for Remelting, with
inspection carried out in accordance with GB/T 20975 – Methods for Chemical Analysis of
Aluminium and Aluminium Alloys or SN/T 1112 – The Determination of Chemical
Components in Aluminum Ingots—Inductively Coupled Plasma Atomic Emission
Spectrometric Method.
2.2.3 Inspection on product packaging and measuring
2.2.3.1 Packaging materials;
2.2.3.2 Packaging tightness and sturdiness;
2.2.3.3 Pieces of ingots per bundle; and
2.2.3.4 Erroneous bundle weight discrepancy
2.2.3.4.1 Weight difference between bundles
2.2.3.4.2 Weight difference between the bundle delivered into the warehouse and the bundle
for inspection
2.2.4 Verification of quality certificate
2.3 Zinc
2.3.1 Surface (exterior) quality inspection
2.3.1.1 All the requirements on surface quality in GB/T 470 – Zinc Ingots (refer, here and
hereinafter, to the current contract that is applicable);
2.3.1.2 For surface quality inspection,
47
2.3.1.2.1 Colored marks shall be on each bundle or each zinc ingot; and
2.3.1.2.2 Marks and symbols that indicate product name, trademark, brand, lot number,
applied standards, net weight, number of pieces, date of production, name of producer, place
of production shall be clear on each bundle of zinc ingots.
2.3.1.3 Amounts for surface quality inspection
2.3.1.3.1 Any 1 to 2 lot number of products; and
2.3.1.3.2 Any 100 pieces approximately out of any 1 to 2 bundles out of the 1 to 2 lot
numbers as prescribed in 2.3.1.3.1 here above.
2.3.2 Intrinsic quality inspection
Refer to the requirements of GB/T 470 – Zinc Ingots, with inspection carried out in
accordance with GB/T 12689 – The Methods for Chemical Analysis of Zinc and Zinc Alloys.
2.3.3 Inspection on product packaging and measuring
2.3.3.1 Packaging materials;
2.3.3.2 Packaging tightness and sturdiness;
2.3.3.3 Pieces of ingots per bundle; and
2.3.3.4 Erroneous bundle weight discrepancy
2.3.3.4.1 Weight difference between bundles
2.3.3.4.2 Weight difference between the bundle delivered into the warehouse and the bundle
for inspection
2.3.4 Verification of quality certificate
2.4 Lead
48
2.4.1 Surface (exterior) quality inspection
2.4.1.1 All the requirements on surface quality in GB/T 469 – Lead Ingots (refer, here and
hereinafter, to the current contract that is applicable);
2.4.1.2 For surface quality inspection,
2.4.1.2.1 Colored marks shall be on each bundle or each lead ingot; and
2.4.1.2.2 Marks and symbols that indicate product name, trademark, brand, lot number,
applied standards, net weight, number of pieces, date of production, name of producer, place
of production shall be clear on each bundle of lead ingots.
2.4.1.3 Amounts for surface quality inspection
2.4.1.3.1 Any 1 to 2 lot number of products; and
2.4.1.3.2 Any 100 pieces approximately out of any 1 to 2 bundles out of the 1 to 2 lot
numbers as prescribed in 2.4.1.3.1 here above.
2.4.2 Intrinsic quality inspection
Refer to the requirements of GB/T 469 – Lead Ingots, with inspection carried out in
accordance with GB/T 4103 – Methods for Chemical Analysis of Lead and Lead Alloys.
2.4.3 Inspection on product packaging and measuring
2.4.3.1 Packaging materials;
2.4.3.2 Packaging tightness and sturdiness;
2.4.3.3 Pieces of ingots per bundle; and
2.4.3.4 Erroneous bundle weight discrepancy
2.4.3.4.1 Weight difference between bundles
49
2.4.3.4.2 Weight difference between the bundle delivered into the warehouse and the bundle
for inspection
2.4.4 Verification of quality certificate
2.5 Primary nickel cathode (full plate)
2.5.1 Surface (exterior) quality inspection
2.5.1.1 All the requirements on surface quality in GB/T 6516 – Electrolytic Nickel (refer,
here and hereinafter, to the current contract that is applicable);
2.5.1.2 For surface quality inspection, marks and symbols that indicate product name,
applied standards, brand, lot number, lot weight, date of production, name of producer, place
of production shall be clear on each bundle of nickel cathode; and
2.5.1.3 Amounts for surface quality inspection.
A. Randomly select one or two batch numbers;
B. Randomly select one or two sets from the batch numbers chosen, with every ingot/piece
being inspected;
2.5.2 Intrinsic quality inspection
Refer to the requirements of GB/T 6516 – Electrolytic Nickel, with inspection carried out in
accordance with GB/T 8647 – The Methods for Chemical Analysis of Nickel.
2.5.3 Inspection on product packaging and measuring
2.5.3.1 Packaging materials
2.5.3.2 Bundling tightness and sturdiness
2.5.3.3 Pieces of ingots per bundle
2.5.3.4 Erroneous bundle weight discrepancy
50
2.5.3.4.1 Weight difference between bundles
2.5.3.4.2 Weight difference between the bundle delivered into the warehouse and the bundle
for inspection
2.5.4 Verification of quality certificate
2.6 Tin
2.6.1 Surface (exterior) quality inspection
2.6.1.1 All the requirements on surface quality in GB/T 728 – Tin Ingots (refer, here and
hereinafter, to the current contract for the year version of the standard that is applicable);
2.6.1.2 For surface quality inspection,
2.6.1.2.1 Colored marks on each bundle or tin ingot; and
2.6.1.2.2 Marks and symbols that indicate product name, trademark, brand, lot number,
applied standards, net weight, number of pieces, date of production, name of producer, place
of production shall be clear on each bundle of tin ingots.
2.6.1.3 Amounts for surface quality inspection
A. Randomly select one or two batch numbers;
B. Randomly select one or two sets from the batch numbers chosen, with every ingot/piece
being inspected;
2.6.2 Intrinsic quality inspection
Refer to the requirements of GB/T 728 – Tin Ingots, with inspection carried out in accordance
with GB/T 3260 – Methods for Chemical Analysis of Tin or YS/T 36 – Methods for Chemical
Analysis of High-purity Tin.
2.6.3 Inspection on product packaging and measuring
51
2.6.3.1 Packaging materials;
2.6.3.2 Packaging tightness and sturdiness;
2.6.3.3 Pieces of ingots per bundle; and
2.6.3.4 Erroneous bundle weight discrepancy
2.6.3.4.1 Weight difference between bundles
2.6.3.4.2 Weight difference between the bundle delivered into the warehouse and the bundle
for inspection
2.6.4 Verification of quality certificate